GroundRules
17 CFR 249.635: Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.
Where this section sits in the code
- Title 17—Commodity and Securities Exchanges
- CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
- PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934
- Subpart G—Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
This form shall be completed and filed by each national securities exchange or registered national securities association as required by § 240.17a-19 of this chapter within 5 business days of the occurrence of the initiation of the membership of any person or the suspension or termination of the membership of any of its members.
Collected 2026-08-27T02:24:31Z. Source file · JSON